Full text of EMPIRE STATE FINANCIAL, INC.'s X-17A-5/A filed 2024-07-26 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION **Washington,** D.C. 20549 ## ANNUAL REPORTS FORM X-17 A-5 PARTIII hours **per ruponse:** 12 SEC FILE NU MER 8- 70193 **OM8 APPAOVAl OM8 Number:** 323S-0123 **Expires:** Oct. 31, 2023 **Estimated average** burden FACING PAGE Information Required Pursuant to Rules 17a-S, 171-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERJOD BEGINNING **01/01/22** MM/DD/YY AND ENDING **12/31 /22** MM/DDNY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: EMPIRE STATE FINANCIAL, INC. TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer O Security-based swap dealer O Major security-based swap participant 0 Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 20 W. PARK AVENUE, SUITE 207 | | (No. and Street) | | | |-----------------------------------------------|--------------------------------|--------------------------|--| | LONG BEACH | NY | 11561 | | | (City) | (State) | (Zip Code) | | | PERSON TO CONT ACT WITH REGARD TO THIS FILING | | | | | JOSEPH SIPKIN | (917) 579-9152 | jsipkin@lernersipkin.com | | | (Name) | (Arca Code - Telephone Number) | (Email Address) | | ## **8. ACCOUNT ANT IDENTIFICATION** rNDEPENDENT PUBLIC ACCOUNT ANT whose reports are contained in this filing• REID CPAS, LLP | | (Name - if individual, state last, first, and middle name) | | | | | |-------------------------------------------------|------------------------------------------------------------|--------------------------------------------|-----------------|------------|--| | 7600 JERICHO TURNPIKE | WOODBURY<br>NY | | | | | | (Address)<br>7/2/2013 | (City) | | (Stale)<br>5861 | (Zip Code) | | | (Dale of Registration with PCAOBXif applicable) | | (PCAOB Registration Number, if applicable) | | | | #### **FOR 0 1'1'1CI.AL** USE **ONLY** • Claims for exemption from the requirement tbat the annual reports be covered by the rcpons of **an** independent public accountant must be supponed by **a** slatemenl of facts and circumstances relied on as the basis of the exemption. Sec 17 CFR 240.171-S(eXI )(ii), if applicable. Person, wbo are to respond to tbe collection of laformacton contained lo this form are not requfred to respond unless tbe form displays a currently valid 0MB control number. {1}------------------------------------------------ ## **This flllag\*\* contains (check all applicable b…Read the full text as markdown